Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
Note: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
DFS Capital Management, LP and DFS Fund, Limited Partnership   2013 CT-SEC $414,000
DG Wealth Management   2016 CFTC $17,499,623
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
DH Products, LLC   2012 CO-SEC $48,250
Diageo plc Diageo beverages 2020 SEC $5,000,000
Diamond Bay Investments, Inc.   2008 AZ-SEC $25,000
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Diamond Ventures LLC   2011 CFTC $4,000,000
Diamondback Capital Management LLC   2012 SEC $9,000,000
Diamondback Capital Management, LLC   2009 SEC $162,175
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
Digital Entertainment Corp.   2006 CT-SEC $20,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Dinotech Corp.   2013 WA-FIN $10,000
Dion Money Management, LLC   2015 SEC $50,000
Diplomat Consulting Services, LLC   2016 MI-SEC $30,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
Ditto Holdings, Inc.   2015 SEC $50,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Diversified Liquid Asset Holdings LLC   2010 IL-SEC $20,000
Diversified Marketing Consultants, Inc. et al.   2012 MD-SEC $1,000,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
Dixon Insurance Agency   2005 TN-SEC $9,268
DJL & Associates, L.L.C.   2009 AZ-SEC $67,849
DKM Certified Public Accountants, Inc.   2015 SEC $60,043
DKR Oasis Management Company, L.P.?   2008 SEC $282,413
DLL CPAS, LLC   2019 SEC $51,387
DMK Advisor Group, Inc.   2020 MO-SEC $5,000
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C.   2003 AZ-SEC $945,025
Dock to Dock Trucking   2010 IN-SEC $90,750
Doctors Associates LLC dba Subway   2020 CA-DFPI $410,000
Doing Business, Inc.   2016 WA-FIN $60,000
Dominick & Dominick LLC   2014 SEC $75,000
Dominion Partners Worldwide, LLC   2010 MD-SEC $5,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Donnelly & Co., Inc.   2000 FINRA $17,500
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC   2011 CA-DFPI $150,000
Double Eagle Enterprises, LLC   2015 CFTC $700,000
Dougherty & Co. LLC   2015 SEC $250,000
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
Douglas Network Enterprises Inc.   2006 OR-FIN $100,000
Downline Builders International   2003 IL-SEC $20,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
Dr. eBill.com, Inc.   2006 MD-SEC $30,000
Dragon Fire Solutions, Inc.   2012 IL-SEC $10,000
Dragonchain, Inc.   2021 WA-SEC $60,000
Drake Asset Management LLC   2011 SEC $175,000
Drake Investment Options LLC   2020 MO-SEC $101,806
DREAM DINNERS, INC.   2010 VA-SEC $5,400
Dream Dinners, Inc.   2012 WA-FIN $12,375
Dream Marketing and SEO, Inc.   2014 MD-SEC $20,000
Dreamakers, LLC   2018 MI-SEC $90,000
Dreambuilder Investments, LLC   2019 WI-FIN $5,000
Dreos Financial Services   2004 AZ-SEC $22,425
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
DrHorsepower, Inc.   2018 AZ-SEC $166,149
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
Drummond & Associates Financial Services LLC   2015 SC-SEC $10,000
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Duncan-Williams, Inc   2015 SEC $250,000
Dunes Securities Corporation   2017 SC-SEC $12,000
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Dupree Financial Group, LLC   2016 SEC $25,000
Dynamic Intelligence, Inc.   2018 SEC $228,552
DynamicDaytrader.com   2000 SEC $55,107
Dystopia Rising, LLC   2016 WA-FIN $12,000
E B Germany & Sons, LLC   2014 IN-SEC $79,150
E Net Speculation Ltd.   2004 CFTC $50,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
E*TRADE Securities LLC Morgan Stanley financial services 2011 MULTI-FIN $5,000,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
E-Slate, Inc.   2018 CFTC $11,183,497
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
E-Z Roadside, LLC   2013 HI-SEC $10,000
E.C.O. Holdings, Corp.   2014 IL-SEC $10,000
E.J. Sterling LLC   2015 OK-SEC $5,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Eagle Market Makers Inc.   2012 CFTC $223,000
Eagle Market Makers, Inc.   2019 CFTC $350,000
Eagle Strategies LLC   2020 SEC $101,090
Eagle Strategies LLC   2011 IL-SEC $21,500
EagleEye Asset Management   2013 CFTC $600,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.